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Regulatory Compliance Specialist

1 month ago

Montreal, Quebec, Canada NBC Full time
Job Title: Associate Director - Regulatory Optimization

Join National Bank (NBC) as an Associate Director - Regulatory Optimization in Financial Markets and contribute to the transformation of our processes while minimizing regulatory risks.

About the Role

We are seeking a highly skilled and experienced professional to monitor and ensure compliance with regulatory requirements for Over the Counter (OTC) derivatives products. You will work closely with Financial Markets business units, Operations, and Information Technology groups to optimize processes and propose solutions to ensure compliance with current regulations.

Key Responsibilities
  • Carry out various projects and initiatives requiring in-depth knowledge of financial markets products, systems, and end-to-end processes.
  • Contribute to the development and management of tools for monitoring & management of operational & regulatory risks, ensuring their compliance with applicable regulations.
  • Participate in cross-functional investigations and assessments to improve the control environment of underlying processes, thereby supporting the FM business units.
  • Ensure the maintenance of first line-of-defense policies and procedures, document compliance with program obligations, and ensure robust risk and control standards.
  • Perform daily surveillance of the breach monitoring tool, investigate, document, and escalate breaches to management.
  • Recommend and oversee the implementation of relevant control enhancements to business / operational processes and ensure that suggested corrective measures adequately address identified upstream and downstream weaknesses.
  • Prepare steering committee reports to demonstrate compliance and provide advice on first line-of-defense obligations.
About the Team

The Financial Resource Management team works closely with Traders and Financial Market sector Heads, advising them on the optimal allocation of financial resources available to them. The team oversees business development and evaluates related regulatory processes to maximize efficiency.

Requirements
  • Bachelor's or master's degree in a related field and 6 to 10 years of relevant experience with a broker, a derivatives broker, or in an investment banking environment.
  • Strong understanding of Financial Markets activities, including products and structures as well as the systems and processes that support them.
  • Ability to quickly grasp key elements surrounding complex financial concepts embedded in complex processes.
  • Proven ability to solve complex problems.
  • Solution-oriented mindset, collaborative approach, and strong desire to learn.
  • Strong interpersonal skills and ability to establish lasting working relationships with various FM business units and support sectors.
  • Experience working within a financial regulatory organization or in managing operational or regulatory risk would be an asset.
  • Ability to work effectively in an ambiguous and constantly evolving environment, to support a demanding professional clientele.
Language

Language: English

Skills

Analytical Skills, Client-focused, Communication, Diversity & Inclusion, Driving Results, Entrepreneurship, Financial Markets, Initiative, Learning Agility, Problem Solving, Regulatory Compliance, Regulatory Requirements, Resiliency, Risk and portfolio optimization, Teamwork

Your Benefits

In addition to competitive compensation, upon hiring you'll be eligible for a wide range of flexible benefits to help promote your wellbeing and that of your family.

  • Health and wellness program, including many options
  • Flexible group insurance
  • Generous pension plan
  • Employee Share Ownership Plan
  • Employee and Family Assistance Program
  • Preferential banking services
  • Opportunities to get involved in community initiatives
  • Telemedicine service
  • Virtual sleep clinic
We're Putting People First

We're a bank on a human scale that stands out for its courage, entrepreneurial culture, and passion for people. Our mission is to have a positive impact on peoples' lives. Our core values of partnership, agility, and empowerment inspire us, and inclusivity is central to our commitments.